Airport SMS Federal Aviation Pilot Project I Findings .Federal Aviation 11 11 Administration SMS

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Text of Airport SMS Federal Aviation Pilot Project I Findings .Federal Aviation 11 11 Administration SMS

  • Presented to: AAAE/MITRE/ACI-NA Safety Management Systems for Airports Conference

    By: FAA Airport Safety and Standards

    Date: Thursday, October 30, 2008

    Federal AviationAdministrationAirport SMS

    Pilot Project IFindings

  • 2 2Federal AviationAdministrationSMS Pilot Project

    Objectives History/Purpose What is SMS? Why SMS? Study Methodology. Findings Recommendations.

    Stakeholders

    Effectiveness Efficiency

    Safety

    Management

    Policy Safety Risk Management

    Promotion Assurance

  • 3 3Federal AviationAdministrationSMS Pilot Project

    If compliance guaranteed safety, then we would only need one rule: Dont crash. Obviously, it takes a lot more than

    that!

    William R. Voss, President FSF

  • 4 4Federal AviationAdministrationSMS Pilot Project

    Consider for a Moment!-- The elimination of accidents is The elimination of accidents is

    impossible. impossible. -- Failures will occur, in spite of the Failures will occur, in spite of the

    most accomplished prevention most accomplished prevention efforts.efforts.

    -- No human endeavour or humanNo human endeavour or human--made system can be free from made system can be free from risk and error. risk and error.

    -- Controlled risk and error are Controlled risk and error are acceptable in an inherently safe acceptable in an inherently safe system.system.

  • 5 5Federal AviationAdministrationSMS Pilot Project

    Safety is like fighting a guerilla war in which you are never able to declare total victory.

    James Reason

  • 6 6Federal AviationAdministrationSMS Pilot Project

    Why SMS? Because imperfection Why SMS? Because imperfection in a system is normal!in a system is normal!

    Operational performance

    Operational performance

    OperationalOperationaldeploymentdeployment

    System System designdesign

    Baseline performanceBaseline performance

    Practicaldrift

  • 7 7Federal AviationAdministrationSMS Pilot Project

    What exactly is this SMS thing that I have heard so much about? And how is it going to help me?

  • 8 8Federal AviationAdministrationSMS Pilot Project

    SMS DefinedICAO Document 9859, Safety Management

    ManualA systematic approach to managing safety,

    including the necessary organizational structures, accountabilities, policies and procedures.

  • 9 9Federal AviationAdministrationSMS Pilot Project

    SMS Defined

    FAA AC 150/5200-37, Introduction to SMS for Airport Operators.

    The formal, business like approachformal, business like approach to managing safety risk. It includes systematic procedures, practices, and policies for the management of safety (including safety policy, safety risk management, safety assurance, and safety promotion).

  • 10 10Federal AviationAdministrationSMS Pilot Project

    ICAO SMS Programme RequirementsAnnex 14, Volume I

    SMS at a minimum:- Identifies safety hazards- Ensures remedial action is taken- Provides for continuous monitoring

    and assessments.- Aims for continuous improvement.- Establishes clearly defined roles and

    responsibilities.

  • 11 11Federal AviationAdministrationSMS Pilot Project

    FAA AC SMS Guidance (AC150/5200-37) Safety Policy and Objectives.

    Management commitment Written safety policy, targets and goals. Established roles and responsibilities.

    Safety Risk Management Process Identify hazards and associated risks Identify appropriate mitigation strategies Plan, do, check, act (PDCA)

    Safety Assurance System Validation of performance indicators and targets. Non-punitive reporting system Internal and external audits.

    Safety Promotion Program. Training Safety communications

  • 12 12Federal AviationAdministrationSMS Pilot Project

    SMS Provides

    Tools to enhance safety level

    A structured proactive approach to managing the safety effort.

    Generation of an awareness of safety leading to an improved safety culture.

    Efficient application of safety resources

    Continuous improvement

  • 13 13Federal AviationAdministrationSMS Pilot Project

    The Good News A good SMS is tailored to the

    specific conditions, requirements, and resources of the aerodrome operatorso it meets your specific needs.

    SMS is not an exercise in futility. There is a payoff at the end of the

    trail. Most of what is needed for a

    functioning SMSyou already have.

  • 14 14Federal AviationAdministrationSMS Pilot Project

    SMS Regulatory Requirements

    FAA regulatory requirement for airports not yet established.

    AC150/5200-37 published. ICAO requirement established.

    Standardized across Annexes 6/11/14 Annex 14 requires a functioning SMS. SMS is a mandatory USOAP audit item.

  • 15 15Federal AviationAdministrationSMS Pilot Project

    OFFICE OF AIRPORT SAFETY AND STANDARDSAIRPORT CERTIFICATION PROGRAM

    SAFETY MANAGEMENT SYSTEMPILOT STUDY

    PARTICIPANT GUIDEMARCH 1, 2007

  • 16 16Federal AviationAdministrationSMS Pilot Project

    Study Methodology 22 airports participated. Goals:

    Identify how well 14CFR part139 meets or exceeds the requirements of SMS

    Review existing programs/processes for functioning elements of SMS.

    Identify and quantify costs associated with implementation.

    Develop a Safety Program Manual Implement full SMS functions in at least one

    department.

  • 17 17Federal AviationAdministrationSMS Pilot Project

    Study Methodology The four pillars approach was the

    dominant format. Wide variations in conduct of gap analysis

    and in format of SPM. Inherent SMS bias evident in results. Attempts made to standardize responses so

    that program submissions/answers could be categorized and counted.

  • 18 18Federal AviationAdministrationSMS Pilot Project

    Small Airport Operators

    Findings indicated a lack of information related to smallerairports (Class IV).

    Recommendation made regarding second pilot project.

    Pilot Project II initiated July 20088 Class IV airports participating.

    Talladega, AL (ASN)

  • 19 19Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Review-Goal/Purpose: Systematic effort to determine:

    -Which components/elements of SMS may already exist

    -Which existing SMS program elements may need to be modified.

    -Which normally accepted elements of SMS are missing.

    -Different approaches taken in completion of Gap Analysis.

  • 20 20Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Review-Attempt to categorize responses in standardized manner:

    - Policy 10 categorical questions

    - SRM 7 categorical questions

    - Assurance 5 categorical questions

    - Promotion 7 categorical questions

    - Miscellaneous 2 categorical questions

    -Data analyzed in terms of these 31 categorical responses.

    - If response could not be determined then airport was not counted in that category (yes or no).

  • 21 21Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Responses

    Does the airport have an existing SMS? 17 answers / 1 yes / 16 no 5.9 % yes5.9 % yes

    Is management committed to the goal of safety enhancement through application of SMS? 12 answers / 11 yes / 1 no 8.3 % yes8.3 % yes

    Does the airport have written safety policy that would meet the intent of SMS? 19 answers / 9 yes / 10 no 47.3 % yes47.3 % yes

  • 22 22Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Responses

    Is the written safety policy effectively communicated to airport employees? 13 answers / 1 yes / 12 no 7.7 % yes7.7 % yes

    Does the airport have an existing organizational structure to manage safety? 12 answers / 10 yes / 2 no 83.3 % yes83.3 % yes

    Does the airport have a functioning safety risk management system in place? 19 answers / 0 yes / 19 no 0 % yes0 % yes

  • 23 23Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Responses

    Is there an existing system in place for hazard reporting, identification and analysis? Is it sufficient and does it meet the needs of a functioning SMS? 18 answers / 3 yes / 15 no 16.7 % yes16.7 % yes

    Has the airport established appropriate safety targets, goals, and/or indicators that would be used to guide the safety effort of the organization? 18 answers / 2 yes / 16 no 11.1 % yes11.1 % yes

  • 24 24Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Responses Does the airport have, and utilize, an internal

    safety audit system that meets the intent of SMS? 18 answers / 1 yes / 17 no 5.5 % yes5.5 % yes

    Is the existing safety culture within the organization adequate to support the goals and objectives of SMS? 13 answers / 7 yes / 6 no 53.8 % yes53.8 % yes

  • 25 25Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Responses

    Does the airport have an established non-punitive reporting system? 17 answers / 0 yes / 17 no 0 % yes0 % yes

    Does management support the idea of non-punitive reporting? 11 answers / 10 yes / 1 no 90.9 % yes90.9 % yes

  • 26 26Federal AviationAdministrationSMS Pilot Project

    Gap Analysis Responses

    Does the airport have an existing SMS training program? 17 answers / 1 yes / 16 no 5.9 % yes5.9 % yes

    Has the airport identified training requirements associated with safety and SMS? 17 answers / 10 yes / 7 no 58.8 % yes58.8 % yes

    Is the current training program adequate to meet the demands of a functioning SMS? 15 answer

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